Anti-Money Laundering Content

[36138] September 09, 2025 TO: ICI Members Investment Company Directors Alternative Closed-End Fund Working Group AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Crypto...

In April, the Office of Management and Budget (OMB) issued a request for information on deregulation. The RFI seeks comment on "regulations that are unnecessary, unlawful, unduly burdensome, or unsound" and specifically asks commenters to identify rules to rescind.

Last week, ICI sent a letter (linked below) to SEC Chair Gensler, requesting that the SEC (i) suspend the compliance dates for certain recent regulatory actions, (ii) halt work on not-yet-finalized rulemaking, and (iii) extend soon-to-expire relief that would have a significant impact...

For the thirteenth year in a row, the Securities and Exchange Commission's Division of Examinations has published its examination priorities for the coming year. While the Division has historically published these exam priorities near the beginning of the calendar year, this is the...

The Financial Crimes Enforcement Network, a bureau of the U.S. Department of the Treasury issued a final rule requiring certain investment advisers to establish anti‑money laundering/countering the financing of terrorism (AML/CFT) programs pursuant to the Bank Secrecy Act and to...

The Financial Crimes Enforcement Network (FinCEN) has proposed new rules requiring SEC-registered investment advisers and exempt reporting advisers to establish anti-money laundering/countering the financing of terrorism (AML/CFT) programs and report suspicious activity to FinCEN...

For the twelfth year in a row, the SEC office responsible for conducting inspections of registrants, the Division of Examinations, has published its examination priorities for the coming year. While the Division has commonly published its examination priorities near the beginning of...

For the eleventh year in a row, the SEC's Division of Examinations (EXAMS) has published its priorities for the coming year. Highlights of the Priorities are briefly described below.

[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds' Use of Derivatives...